Legal and Regulatory Issues in the Financial Industry

MET AD 722

A review of the legal and regulatory issues that govern the financial industry. The course reviews SEC regulations as well as the financial legal environments that affect the financial system, the operations of financial firms and protect shareholders and company employees. The course provides a historical context in which the legal and regulatory systems have evolved and relates that history to today's complex financial environment.

Note that this information may change at any time. Please visit the Student Link for the most up-to-date course information.